Your search returned 9 results.

ASAP
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June 30, 2023

Regulatory Roundup – Key Developments in UK Financial Services

In this article, we share a round-up of the key developments from a regulatory perspective for HR Professionals in UK financial services firms.

ASAP
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February 8, 2023

New Anti-Money Laundering Whistleblower Improvement Act Expands Coverage and Strengthens Incentives for Whistleblowers

President Biden signed a new whistleblower law that significantly increases the risk and cost of whistleblower claims for domestic and overseas financial services institutions that must be cognizant of anti-money laundering laws and regulations.

Insight
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February 6, 2023

The Bar Has Been Lowered – Congress Further Relaxes Hiring Restrictions for Banking Personnel with Criminal Histories

The FY 2023 National Defense Authorization Act loosens restrictions on hiring those with criminal records at FDIC-member banks and NCUA-insured credit unions.

Insight
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January 11, 2023

Publicly Traded Employers Will Need to Claw Back Incentive Pay from Former and Current Executive Officers

A new rule will require employers with stock listed on a national security exchange to implement a policy that provides for the recovery of erroneous payments to current and former executive officers.

Insight
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August 20, 2021

Inclusion, Equity, & Diversity Update – SEC Approves Nasdaq Rule on Board Diversity

As companies focus on workforce inclusion, equity, and diversity (IE&D), they are under increasing pressure to assure that the membership of their boards reflects these values

Insight
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July 28, 2021

Internal Disclosures from Compliance Audits –What Could Go Wrong?

Compliance or internal audit departments frequently carry out audits intended to assure that business partners in an organization have policies and procedures that are effective for maintaining corporate compliance and consistent with myriad laws.

Insight
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March 25, 2021

Form U5 Defamation Claims on the Rise at FINRA: Be Prepared!

Form U5 defamation cases are on the rise, with a reported 24% increase over the filing period from 2019 to 2020. Firms should take certain proactive steps to fully understand their duties, reduce risk, and avoid costly litigation.

Insight
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August 6, 2020

The FDIC Again Loosens Restrictions on Hiring Bank Personnel with Criminal Histories

On July 24, 2020, the FDIC published a Final Rule regarding Section 19 of the Federal Deposit Insurance Act, 12 U.S.C. § 1829 (“Section 19”), which restricts hiring at FDIC-insured depository institutions, such as FDIC member banks.

Insight
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January 21, 2016

FINRA Members Subject to New Background Screening Rules

FINRA member institutions should become familiar with new background screening rules.